RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• H•••••• T••••
- S••••• C•••••• M••••••••• L•• state registered currentsince Jun 15, 2011 · Dallas, Tx
- W•• A•••••••• L• formerNov 25, 2009 to Dec 31, 2010 · Dallas, Tx
- M••••••• I••••••••• N•••••• I••• BD affiliatedSep 14, 2004 to Dec 2, 2009 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedMar 1, 2004 to Sep 14, 2004 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 3, 2003 to Mar 11, 2004 · Austin, Tx
- W•• A•••••••• L• to S••••• C•••••• M••••••••• L••left Dec 31, 2010, registered Jun 15, 2011 (166 days) · Other
- M••••••• I••••••••• N•••••• I••• to W•• A•••••••• L•left Dec 2, 2009, registered Nov 25, 2009 (-7 days) · Other
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Sep 14, 2004, registered Sep 14, 2004 (0 days) · Other
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left Mar 11, 2004, registered Mar 1, 2004 (-10 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address